DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
P•••• S•••• A•••••• L••
Latest filing Jul 1, 2017
First filing on the tape Jul 1, 2017 · 1 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
40
26 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): 3
Employees (5.A): 40
Private funds: no history
Practice profile
derived from the filing of Jul 1, 2017; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 13.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• M••••••• S••••• · Partnercontrolsince 01/2007 · owns 50% to 75% of S•••• C•••••• P•••••••• L••
- S••••••• B••••• J••• · Partnercontrolsince 01/2007 · owns 25% to 50% of S•••• C•••••• P•••••••• L••
- G••••• M••••••• S••••• · Partner - S•••• C•••••• P•••••••• L••since 01/2007 · owns less than 5%
- L•••• J••• · Executive Vice President - P•••••• I••••••••• M••••••••• C•••••• L••since 06/2015 · owns less than 5%
- L•••••• R•••••• · Managing Director - P•••••• I••••••••• M••••••••• C•••••• L••since 11/2005 · owns less than 5%
- R••••• C•••• M••••• · Chief Compliance Officersince 06/2017 · owns less than 5%
- S••••••••• R••••••• A•••••• · Senior Vice President - P•••••• I••••••••• M••••••••• C•••••• L••since 08/2016 · owns less than 5%
- S••••••• B••••• J••• · Partner - S•••• C•••••• P•••••••• L••since 01/2007 · owns less than 5%
Entity owners
- P•••••• I••••••••• M••••••••• C•••••• L•• · Memberdirect · owns 50% to 75%
- S•••• C•••••• P•••••••• L•• · Memberdirect · owns 50% to 75%
- A•••••• A•••• M••••••••• O• A•••••• L••• · Memberindirect · owns 75% or more of P•••••• I••••••••• M••••••••• C•••••• L••
- A•••••• A•••• M••••••••• O• A•••••• L•• · Partnerindirect · owns 75% or more of A•••••• A•••• M••••••••• O• A•••••• L•••
- A•••••• S• · Sole Stockholderindirect · owns 75% or more of A•••••• E••••• B•••
- A•••••• E••••• B••• · Sole Stockholderindirect · owns 75% or more of A•••••• O• A••••••• I•••
- A•••••• O• A••••••• I••• · Memberindirect · owns 75% or more of A•••••• A•••• M••••••••• O• A•••••• L••
Related persons
Schedule D 7.A
- A•••••• G••••• I•••••••• D••••••••• L••broker-dealern
- A•••••• G••••• I•••••••• F••• M••••••••• L••bankn
- A•••••• G••••• I•••••••• G•••investment adviserpooled vehicle sponsorLP sponsorn
- A•••••• G••••• I•••••••• U••• L••investment adviserbanknRAUM $5.0B
- A•••••• S•real estatey
- P•••••• I••••••••• M••••••••• C•••••• L••investment adviserbankpooled vehicle sponsoryRAUM $3667B
- P•••• •••••••• G•••broker-dealern
- P•••• A••• L••••••investment advisern
- P•••• A••• P•• L•••investment advisern
- P•••• A•••••••• M••••••••• L••••••investment adviserpooled vehicle sponsorn
- P•••• A•••••••• P•• L•••investment advisern
- P•••• C••••• C••••broker-dealerinvestment adviserbankpooled vehicle sponsorn
- P•••• D••••••••• G•••broker-dealerinvestment advisern
- P•••• E••••• L•••investment advisern
- P•••• G••••• A••••••• •••••••• L••••••investment adviserpooled vehicle sponsorn
- P•••• G••••• A••••••• ••••••••• S•••investment adviserbankpooled vehicle sponsorn
- P•••• I••••••••• L••broker-dealern
- P•••• J•••• L•••investment advisern
- P•••• L•••• A•••••• A••••••••• D• C•••••••• L••••investment advisern
- Slr Capital Partners, LLCinvestment adviserpooled vehicle sponsoryRAUM $9.4B
Offices
Schedule D 1.F, the 25 largest
- New York, NY
- New York, NY
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- P•••• S•••• A•••••• L•• filed its initial SEC registration (Form ADV)Jul 1, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- FORMER SEC A••••••deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026